Monthly Archives: January 2016

Category: Conferences and Events, Event Center

Our 2016 Events Calendar


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Our 2016 events calendar is here! We’re excited to share the Boston Financial and industry events we’re participating in. We realize when it comes to choosing the industry events you’ll be attending in 2016, you’re selective. We hope you find our holistic view beneficial.

Can’t attend an event? Throughout the year, we’ll share key takeaways on Perspectives.



January 31 – February 2: NICSA Strategic Leadership Forum (SLF), Hilton Diplomat, Hollywood, FL. Spanning three days and featuring sessions on risk and compliance, operations, and products and distribution, the SLF conference kicks off the 2016 event calendar. Boston Financial joins DST and State Street as conference sponsors, exhibitors in the Resource Center, and hosts of a client dinner at the Diplomat Landing on Monday night.

Cindi Boudreau, Managing Director of Proxy Solutions at Boston Financial will moderate the panel, “Proxy Advisory Firms: Understanding the Impact” on Monday, February 1. The panel will explore the relationships advisory firms have with institutions and managed broker accounts and how they evaluate and recommend on proposals put forth by mutual fund companies.

February 29 – March 2: DST ADVANCE Conference, Westin Kierland Resort & Spa Scottsdale, AZ. Spanning more than 50 sessions over two days, DST ADVANCE is the only conference where the DST’s entire Financial Services organization comes together to exchange ideas and insights on advancing technology and innovative business trends.

Attended by nearly 500 financial services executives, DST ADVANCE explores the newest innovations, latest industry solutions, and key trends shaping financial services. Senior executives from Boston Financial will present, and you’ll have ample opportunities to network with them.

March 9 – 10: MFEA Distribution & Digital Summit, St. Petersburg, FL. The Distribution and Digital Councils come together for the first time to examine strategies, best practices, and technology tools being used to manage sales force. Boston Financial is a sponsor of the Summit and will attend.

March 13 – 16: ICI Mutual Funds & Investment Management Conference, JW Marriott Grande Lakes in Orlando, FL. Hear from SEC and industry experts as they assess today’s regulatory environment, market trends, and evolving business practices and what they mean for the fund industry. Boston Financial is a conference sponsor and will join DST and State Street in hosting a client dinner on Sunday night.

April 25 – 26: Boston Financial Blue Sky Roundtable, Boston Financial headquarters, Quincy, MA. Our Blue Sky program will address best practices in exemption processing and oversight, omnibus sales reporting, and transfer agent Blue Sky flags. We’ll spotlight industry trends we’re watching and their impact to your Blue Sky program. The event kicks off with cocktails and dinner Monday evening, followed by a full day of interactive learning with your peers and Boston Financial. Look for our invitation in February.

May 18 – 20: ICI General Membership Meeting, Washington Hilton, Washington, DC. Providing a forum for industry executives to discuss key issues, Boston Financial joins DST and State Street as conference sponsors. Please visit us in the Exhibit Hall at Booth 200. A client dinner will be hosted at the Hay Adams on Wednesday night.

June 9: Expect Miracles 22nd Annual East Coast Classic, Plymouth, MA. Boston Financial is a sponsor and will attend.

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September 14 – 16: Boston Financial Client Forum, Omni Hotel, Nashville, TN. Known as “Music City,” Nashville is also the host city for #BFCF16. We’re looking forward to connecting with over 90 clients representing 50+ firms this September. At #BFCF16, you’ll hear from leading industry experts, gain unique perspectives, and leave with key takeaways that you can implement in your organization. More details about the Forum  activities coming your way soon!


September 19 – 20: NICSA General Membership Meeting, Boston, MA. Boston Financial will attend and is a sponsor.

October 13: Expect Miracles 8th Annual West Coast Classic, Newport Coast, CA. Boston Financial is a sponsor.

October 18 – 19 (pending) Boston Financial 2016 Chief Compliance Officer Forum, Boston, MA. Our annual CCO Forum provides attendees with insight into how Boston Financial uses controls and oversight to help assess and mitigate risk and gain a better understanding of today’s regulatory environment. The annual event helps supports our clients’ and their CCO’s 38a-1 due diligence obligations and draws CCOs as well as mid-to senior-level managers.

November 10: Expect Miracles 13th Annual Wine & Spirits Event, Boston, MA. With nearly 400 financial executives in attendance last year, this evening event raises critical funds for the cancer research and patient care programs. Boston Financial is a sponsor and attendee.

What events will you be at? Leave a comment to let us know where we’ll see you this year.

Be sure to follow @BFClients and @Amyplansevents for the latest announcements on our 2016 conference and event plans!



Category: Associate Development and Engagement, Social Media

Helping Associates Achieve Their New Year’s Resolutions


We’re four weeks into 2016. Are you among the 30 percent of Americans who have already given up their resolutions for the new year?

New Years Resolution - larger text-01During the January 7 episode of the “Bloomberg Benchmark podcast“, hosts Aki Ito and Tori Stilwell, joined by Dr. Katie Milkman from the Wharton School of Business at the University of Pennsylvania, discussed seven behavioral economics strategies for helping people keep their resolutions. During the podcast, the hosts shared a report from Twitter that three of the top ten New Year’s resolutions, as measured by tweets at the start of the year, were wellness related: “get in shape” (#1), “eat healthier” (#2), and “drink more water” (#6). “Save more money” was #10 on the list.

Boston Financial associates who have set health-related resolutions for 2016 get support in their efforts through our corporate wellness initiative. Organized to help fulfill our corporate goal of promoting associate engagement and development, our corporate wellness program introduces associates to ideas and resources for:

  • Eating healthier
  • Moving more
  • Increasing life balance

Our wellness initiative integrates three of the resolution support tactics introduced by Dr. Milkman during the podcast: (1) motivating people through commitment devices (e.g., financial incentives or online tools), (2) using social media tools to keep people accountable to themselves (and one another), and (3) offering multiple points to make a fresh start.

Resolution Strategy 1: Motivating People through Commitment Devices

A commitment device is a strategy or tool that offers either an incentive or a disincentive to keep someone on track with their goal. Boston Financial’s most popular employee wellness activity, the fitness challenge, engages individuals and teams in friendly competitions for prizes and bragging rights. We organize our challenges across our five office locations using a virtual tool provided by one of our health plan vendors. This tool, which displays each participating associate’s progress in the challenge on a public dashboard, holds participants accountable to one another for meeting their personal or team obligations.

Our most successful challenge in 2015 was a team steps challenge hosted in late spring 2015. Nearly 400 associates organized into 42 teams, each took an average of 309,699 steps over the course of the six-week challenge, which was nearly 82 percent more than the average steps taken by associates in a similar challenge the previous year.

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A web-based fitness challenge tool provided to Boston Financial by a health plan vendor inspires associates to set and stick with their goals to eat better and walk more.

 Resolution Strategy 2: Using Social Media to Hold People Accountable

We created a Wellness Community on our corporate intranet to give associates a place to share ideas, stories, resources, and aspirations. The “opt-in” community, which increased in size by more than 100 percent during 2015, sees an average of 2,250 individual events from approximately 50 percent of its 600 members every quarter. Through quizzes posted on the intranet, we introduced associates to new ideas and invited them to set personal health goals.

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Boston Financial associates participating in a nutrition event as part of our wellness program.



Resolution Strategy 3: Offering Multiple Points to Make a Fresh Start

The diversity of Boston Financial’s workforce means there is not a one size fits all approach to promoting associate wellness. All our programming is designed to offer an introductory approach for team members who are new to thinking about wellness, or making a fresh start. Fifteen-minute micro workshops on topics like healthy eating during the holidays or “desk-exercise” provide easy entry points for those who are new to the topic. During 2015 alone, we offered more than 15 opportunities for associates to learn new information, along with more than 10 health screening events to help associates understand their current health status.

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Skin cancer screenings were among the free associate wellness programs hosted by Boston Financial in 2015.






Whatever their health-related resolutions, Boston Financial associates can look forward to another year of corporate wellness activities that will help them stick to their goals. What are your strategies for keeping your resolutions this year?

Category: Industry Trends, Transfer Agency

12 Notable Quotes that will Inspire and Motivate You


inspire300The rapid evolution of technology, changing consumer behaviors and values, and the power of data continue to transform our industry. Likewise, transparency, cybersecurity, and oversight still dominate the regulatory landscape. Below is an array of enlightening quotes gathered from Perspectives. Some will have you thinking about the future of the industry while others may inspire and motivate you.

The transfer agent industry is often criticized for being too reactive. This is no longer good enough given the intensity of the regulatory push. In looking ahead, we are shortening product and technology development cycles so our clients are prepared for whatever happens next in the compliance space. This is smart servicing in the 21st century.”

Craig Hollis, Prepared for Whatever Comes Next: Creating future value in compliance programs

We manage ‘stuff’ – processes, facilities, but leadership is a contact sport. You are leading humans and we are fundamentally imperfect.”

John Griffin, When Crazy Ideas Move Forward

But our industry is changing, and the classic definition of a transfer agent is no longer good enough to encompass the functions that a mutual fund service company must perform (or outsource).”

Tracy Shelby, Facing Industry Challenges Together

Being a social business is rapidly becoming a necessity in this era of unprecedented need for speed in identifying market trends, anticipating customer needs, and solving customer problems.”

Julia Binder, Why Social Technology is Essential for Workforce Collaboration

States are looking at all possible channels to generate revenue without upsetting key constituents (in other words – don’t tax the residents). Blue sky, in states with no-cap on the fees to file, represents substantial revenue.”

Kevin Caravella, Read My Lips – No New Taxes

As we get older, we often inhibit our creativity as experience tells us all the reasons why the idea won’t work. It’s time to reawaken our childhood creativity!”

Kim Froio, If you’re not failing you’re not trying hard enough

Millennials are subject to examination by fundsters from all walks – product development, marketing, distribution advice and service. Each area must think about how millennial preferences will impact their business and how to take advantage of that change.”

Nick Darsch, Are you sick of millennials yet?

We believe that what really matters is what we do about the challenges facing the industry, not just what we think or say about them.”

Anne Hebard, The Impact of Megatrends to the Transfer Agent Model

Companies are collections of human beings who may not always make the right choices.”

Ann Marie Mierzykowski, Just Because it’s Legal, Doesn’t Make it Right

“We hear about it all of the time throughout the corporate hallways, ‘we need to focus on the customer experience…’ What does that mean and why does it matter?”

Brian Melter, The Customer Experience

Most of the characteristics we perceive as unique to millennials are not actually unique to millennials.”

Erica Dhawan, Solving Problems with Connectional Intelligence

If you’ve ever needed to clean your attic or garage, you know sometimes the hardest part of the job is knowing where to begin. Given the often overwhelming volume of information available, the urgency of asset manager’s needs, and the cybersecurity imperative, developing a strategy for tackling data analytics in our industry can feel the same.”

Arthur Dunn, Looking at the Big Picture: Leveraging the power of data

Category: Compliance, Conferences and Events, Industry Trends, Technology

Top 5 of 2015


2016 has arrived, and we’re excited about what’s ahead for Perspectives in 2016. Planning is well underway, but we wanted to take one last look back at 2015. What was top of mind? What impacted the industry? What were some of the key takeaways?

Over the next week, we’ll share the stories you were most interested in, the ideas that caused us to pause and reflect, associate engagement efforts at Boston Financial, and a glimpse at the conferences and events ahead.

What were our readers reading about in 2015? Not surprising, compliance made our Top 5 list along with how to inspire leaders. Read on to see the full list.